Under rule 9(1) of the Securities and Futures (Open-ended Fund Companies) Rules (Cap. 571AQ) (“OFC Rules”), an OFC must not change its company name unless the Securities and Futures Commission (“SFC”) has approved the change.
Under the “one-stop” approach, within 15 days after the date on which the OFC is given notice of the SFC’s approval for the change of name, the OFC must, pursuant to rule 9(4) of the OFC Rules, deliver a notice of change of name in a specified form (Form OFCNC2(SFC)) together with the required fees to the SFC. The Companies Registry (“CR”) will register the form and issue a “Certificate of Change of Name of Open-ended Fund Company” to the OFC after approval is given by the SFC to the OFC’s change of name.
The fees are HK$1,405. The lodgment fee of HK$160 is non-refundable.
Please visit the “Regulatory functions>Investment products” section of the SFC’s website (www.sfc.hk) or contact the SFC directly for enquiries on the documents and fees required for an application for approval of change of name of an OFC. Please see Q5 for contact information.